Capital One
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Capital One, New York, New York, us, 10261
Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance
Join to apply for the Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance role at Capital One. Capital One’s Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organization’s Audit Committee. Audit professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. The Audit function’s vision is to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creating a dynamic and challenging atmosphere for personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal Auditor interested in becoming part of our Financial Crimes Compliance (FCC) Audit team. As a member of the FCC Audit team, you will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that contribute to the annual audit plan. The Principal Auditor will be responsible for maintaining all organizational and professional ethical standards. Responsibilities
Participate in major components of business units and lead small to medium-sized BSA / AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and conduct relevant testing based on risks and processes. Assist in communicating issues, risks and recommendations to all levels of management. Operate independently and ensure work is completed to schedule and meets high-quality standards. Develop and maintain strong working relationships with key business partners and the extended Audit group. Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery. Proactively follow up on agreed audit actions to ensure management delivers their commitments within the agreed timescales. Proactively seek learning opportunities to enhance skills and competencies related to the role. What we’re looking for in an ideal teammate
You are a critical thinker who seeks to understand the business and its control environment. You believe insight and objectivity are core elements to providing assurance on governance, risk management, and internal control processes. You possess a relentless focus on quality and timeliness. You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions, test assumptions, and challenge conventional thinking. You develop influential relationships based on shared risk objectives and trust to deliver business impact. You understand that data, innovation, and technology enhance auditing effectiveness, including leveraging data analytics and expanding technical expertise. You lead by example, coach others, and foster a collaborative, trusting team environment. You create an environment that fosters trust, collaboration, and belonging to help attract, hire, and retain top talent. Basic Qualifications
Bachelor’s Degree or military experience At least 3 years of experience in auditing, Anti-Money Laundering, Fraud or Sanctions, or a combination Preferred Qualifications
Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification 4+ years of experience in banking or financial services, in a professional services firm serving large banks, or a combination 1+ years of experience performing data analysis in support of internal auditing This role is hybrid, meaning associates spend 3 days per week in-person at one of our offices listed in this job posting. Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaboration. The minimum and maximum full-time annual salaries for this role are listed below, by location. Salaries for part-time roles will be prorated based on hours. Locations and ranges: Charlotte, NC: $106,700 - $121,700; Chicago, IL: $106,700 - $121,700; McLean, VA: $117,300 - $133,900; New York, NY: $128,000 - $146,100; Plano, TX: $106,700 - $121,700; Richmond, VA: $106,700 - $121,700; Riverwoods, IL: $106,700 - $121,700. Candidates hired to work in other locations will be paid according to that location’s range. This role is eligible for performance-based incentives (cash bonuses and/or long-term incentives) depending on the plan. Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits. Eligibility varies based on full- or part-time status, exempt or non-exempt status, and management level. For accommodations during the application process, contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical support or questions about Capital One’s recruiting process, email Careers@capitalone.com. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination and to maintaining a drug-free workplace. Capital One will consider qualified applicants with a criminal history in a manner consistent with applicable laws and regulations. Capital One does not provide, endorse nor guarantee third-party products or services on this site. The posting may include positions in multiple entities and locations as noted in the posting. Seniority level
Mid-Senior level Employment type
Full-time Job function
Accounting/Auditing and Finance
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Join to apply for the Principal Auditor (Experienced Senior Auditor), Financial Crimes Compliance role at Capital One. Capital One’s Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organization’s Audit Committee. Audit professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. The Audit function’s vision is to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creating a dynamic and challenging atmosphere for personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal Auditor interested in becoming part of our Financial Crimes Compliance (FCC) Audit team. As a member of the FCC Audit team, you will focus on engagements involving BSA/AML, Sanctions, and Fraud Compliance related audit projects that contribute to the annual audit plan. The Principal Auditor will be responsible for maintaining all organizational and professional ethical standards. Responsibilities
Participate in major components of business units and lead small to medium-sized BSA / AML, Sanctions, and Fraud Compliance audits. Perform risk assessments of business activities and conduct relevant testing based on risks and processes. Assist in communicating issues, risks and recommendations to all levels of management. Operate independently and ensure work is completed to schedule and meets high-quality standards. Develop and maintain strong working relationships with key business partners and the extended Audit group. Leverage available data and analytical tools during the planning and fieldwork phases of audit delivery. Proactively follow up on agreed audit actions to ensure management delivers their commitments within the agreed timescales. Proactively seek learning opportunities to enhance skills and competencies related to the role. What we’re looking for in an ideal teammate
You are a critical thinker who seeks to understand the business and its control environment. You believe insight and objectivity are core elements to providing assurance on governance, risk management, and internal control processes. You possess a relentless focus on quality and timeliness. You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions, test assumptions, and challenge conventional thinking. You develop influential relationships based on shared risk objectives and trust to deliver business impact. You understand that data, innovation, and technology enhance auditing effectiveness, including leveraging data analytics and expanding technical expertise. You lead by example, coach others, and foster a collaborative, trusting team environment. You create an environment that fosters trust, collaboration, and belonging to help attract, hire, and retain top talent. Basic Qualifications
Bachelor’s Degree or military experience At least 3 years of experience in auditing, Anti-Money Laundering, Fraud or Sanctions, or a combination Preferred Qualifications
Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), or relevant certification 4+ years of experience in banking or financial services, in a professional services firm serving large banks, or a combination 1+ years of experience performing data analysis in support of internal auditing This role is hybrid, meaning associates spend 3 days per week in-person at one of our offices listed in this job posting. Fridays are enterprise-wide virtual work days. Monday–Thursday are in-person days for collaboration. The minimum and maximum full-time annual salaries for this role are listed below, by location. Salaries for part-time roles will be prorated based on hours. Locations and ranges: Charlotte, NC: $106,700 - $121,700; Chicago, IL: $106,700 - $121,700; McLean, VA: $117,300 - $133,900; New York, NY: $128,000 - $146,100; Plano, TX: $106,700 - $121,700; Richmond, VA: $106,700 - $121,700; Riverwoods, IL: $106,700 - $121,700. Candidates hired to work in other locations will be paid according to that location’s range. This role is eligible for performance-based incentives (cash bonuses and/or long-term incentives) depending on the plan. Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits. Eligibility varies based on full- or part-time status, exempt or non-exempt status, and management level. For accommodations during the application process, contact Capital One Recruiting at 1-800-304-9102 or RecruitingAccommodation@capitalone.com. For technical support or questions about Capital One’s recruiting process, email Careers@capitalone.com. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination and to maintaining a drug-free workplace. Capital One will consider qualified applicants with a criminal history in a manner consistent with applicable laws and regulations. Capital One does not provide, endorse nor guarantee third-party products or services on this site. The posting may include positions in multiple entities and locations as noted in the posting. Seniority level
Mid-Senior level Employment type
Full-time Job function
Accounting/Auditing and Finance
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